DFX Intelligence
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T••••••• A•••••••• L••
Independent wealth manager, based in Franklin, Massachusetts, reporting $170M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $170M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +12%
- Private clients
- 100% of RAUM, $170M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 153943 · SEC 801-123566 · 9 filingsShowHide
CRD 153943SEC 801-123566First filing on the tape Feb 28, 2022, latest Feb 11, 2026SEC status approved since Mar 30, 2022IAPD
RAUM
$170M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$170M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$170M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$170M as of Feb 11, 2026
Feb 27, 2023$123M then
HNW client RAUM$164M as of Feb 11, 2026
Feb 27, 2023$116M then
State-registered IARs (5.B.3)1 as of Feb 11, 2026
Feb 27, 20231 then
Employees (5.A)1 as of Feb 11, 2026
Feb 27, 20231 then
Private funds: no history
RAUM +12% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $170MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $701,394derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $150M, 82 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$164M96%
- Individuals$6.0M3.5%
- Individual clients
- 8reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 242reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $150M for 82 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• L•• N•••••Certified Financial Planner | Franklin, Ma | May 24, 2010 | 19 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• K••••• L•• · Principal/Chief Compliance Officer/Managing Membercontrolsince 04/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Newton, MA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 227 to 242Feb 13, 2025 to Feb 11, 2026
- HNW clients · 39 to 40Feb 13, 2025 to Feb 11, 2026
- Individual clients · 9 to 8Feb 13, 2025 to Feb 11, 2026
- Assets in custody · $133M to $150MFeb 13, 2025 to Feb 11, 2026
- Financial planning clients · 26-50 to 51-100Feb 13, 2025 to Feb 11, 2026
- Discretionary RAUM · $151M to $170MFeb 13, 2025 to Feb 11, 2026
- HNW RAUM · $145M to $164MFeb 13, 2025 to Feb 11, 2026
- Individual RAUM · $6.5M to $6.0MFeb 13, 2025 to Feb 11, 2026
- RAUM · $151M to $170MFeb 13, 2025 to Feb 11, 2026
- Accounts · 248 to 227Nov 15, 2024 to Feb 13, 2025
- HNW clients · 37 to 39Nov 15, 2024 to Feb 13, 2025
- Individual clients · 12 to 9Nov 15, 2024 to Feb 13, 2025
- Assets in custody · $111M to $133MNov 15, 2024 to Feb 13, 2025
- Financial planning clients · 51-100 to 26-50Nov 15, 2024 to Feb 13, 2025
- Other offices · 2 to 0Nov 15, 2024 to Feb 13, 2025
- Discretionary RAUM · $138M to $151MNov 15, 2024 to Feb 13, 2025
- HNW RAUM · $130M to $145MNov 15, 2024 to Feb 13, 2025
- Individual RAUM · $8.3M to $6.5MNov 15, 2024 to Feb 13, 2025
- RAUM · $138M to $151MNov 15, 2024 to Feb 13, 2025
- Accounts · 221 to 248Aug 24, 2023 to Feb 8, 2024
- Individual clients · 11 to 12Aug 24, 2023 to Feb 8, 2024
- Assets in custody · $113M to $111MAug 24, 2023 to Feb 8, 2024
- Discretionary RAUM · $123M to $138MAug 24, 2023 to Feb 8, 2024
- HNW RAUM · $116M to $130MAug 24, 2023 to Feb 8, 2024
- Individual RAUM · $7.4M to $8.3MAug 24, 2023 to Feb 8, 2024
- RAUM · $123M to $138MAug 24, 2023 to Feb 8, 2024
- Accounts · 227 to 221Mar 1, 2022 to Feb 27, 2023
- HNW clients · 39 to 37Mar 1, 2022 to Feb 27, 2023
- Assets in custody · $121M to $113MMar 1, 2022 to Feb 27, 2023
- Financial planning clients · 26-50 to 51-100Mar 1, 2022 to Feb 27, 2023
- Discretionary RAUM · $139M to $123MMar 1, 2022 to Feb 27, 2023
- HNW RAUM · $131M to $116MMar 1, 2022 to Feb 27, 2023
- Individual RAUM · $8.3M to $7.4MMar 1, 2022 to Feb 27, 2023
- RAUM · $139M to $123MMar 1, 2022 to Feb 27, 2023
Signals
2 dated events
- ••• LockedFeb 11, 2026 · ria office closed · derived
- ••• LockedFeb 28, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Feb 11, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 11, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $170Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026